Sovereign Financial Group, Inc.
Firm details
- Headquarters
- Stamford, Connecticut
- CRD number
- 294314
- Registered since
- January 31, 2019
- Website
- www.sfgroupinc.com
- Custodians
- RAYMOND JAMES & ASSOCIATES, INC., CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI71.04%
- Individuals27.21%
- Charitable Organizations1.27%
- Pension & Profit Sharing Plans0.29%
- Corporations / Businesses0.19%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Sovereign Financial Group, Inc. is an independent, SEC-registered registered investment adviser that has been active since 2019. Organized as a corporation and owned by an individual, the firm serves both individual/family and institutional clients and functions as a capital allocator — using outside managers in addition to internally managed vehicles. Its advisory services include financial planning, portfolio management for individuals and small businesses, pension consulting-related services, and selection of other advisers. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee engagements. The firm is not identified as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities58%
- Public Funds/Mutual Funds32%
- Cash & Cash Equivalents5%
- Other3%
- US Government Bonds1%
Owners & executives
1 of 1
Charles Failla
Founder & CEOCRD 2628097
Contacts
3 of 23
John Buoni
Senior Financial AdvisorCRD 2943956
Steven Massey
Financial AdvisorCRD 1161171
Christopher Mortara
Vice PresidentCRD 2858346
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 219Active vs passive
$438M in ETFs
89%
$388M
8%
$49.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD TAX-MANAGED FUNDS (VEA) | Vanguard | Passive | Foreign Large Blend | $34.2M | 533,080 | 7.80% |
Location
Stamford, CT
Fairfield
Location
Stamford, CT
Headquartered in Stamford, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Fairfield
- Address
- 35 W Broad St
- Time zone
- ET (UTC-5)
- Office locations
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